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Tool 12: Developing an Exit Strategy - CEO Water Mandate

Tool 12: Developing an Exit Strategy The exit Strategy is the plan that clarifies how the WSI will end or transform ( , once goals have been achieved, or at the end of the project or funding cycle), or that provides for the withdrawal of participants. Fostering sustainability and mitigating risks of failure lie at the heart of this Strategy . It needs to be designed jointly from the onset and revisited regularly as the initiative evolves. Why and when to develop an exit Strategy ? WSIs are usually perceived to be temporary vehicles set up to pioneer and mainstream new collaborative approaches to shared Water challenges. Whereas public sector and civil society participants will likely continue to be engaged in these initiatives, companies tend to want to disengage once the Water concern has been addressed. Therefore, some WSIs will either transform into, or be handed over to, more permanent structures with little or no business involvement, while other WSIs will simply terminate, becoming a source of inspiration for future initiatives.

Greater self-reliance (e.g., through increased efficiency or new participants bringing different resources to the table) or handing over to existing local institutions. Abandon the WSI Participants leave the WSI or hand it over.

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Transcription of Tool 12: Developing an Exit Strategy - CEO Water Mandate

1 Tool 12: Developing an Exit Strategy The exit Strategy is the plan that clarifies how the WSI will end or transform ( , once goals have been achieved, or at the end of the project or funding cycle), or that provides for the withdrawal of participants. Fostering sustainability and mitigating risks of failure lie at the heart of this Strategy . It needs to be designed jointly from the onset and revisited regularly as the initiative evolves. Why and when to develop an exit Strategy ? WSIs are usually perceived to be temporary vehicles set up to pioneer and mainstream new collaborative approaches to shared Water challenges. Whereas public sector and civil society participants will likely continue to be engaged in these initiatives, companies tend to want to disengage once the Water concern has been addressed. Therefore, some WSIs will either transform into, or be handed over to, more permanent structures with little or no business involvement, while other WSIs will simply terminate, becoming a source of inspiration for future initiatives.

2 Because of their transient nature, WSIs generally emphasize the importance of sustaining their positive outcomes and impact. It should be noted that exiting an initiative is difficult, because the beneficiaries come to expect the benefits and link the participants to this delivery. An exit Strategy therefore guides the termination or handover of a successful WSI and related communications. Tool A set of basic principles to support practitioners in Developing exit strategies for WSIs. Question Addressed What are some key criteria for deciding how the WSI should end? What are some drivers for its conclusion or renewal? How does the local operating context factor into these decisions? Purpose Clarify what success looks like for WSI participants. Establish when and how to terminate, hand over, or transform a WSI. Make provision for the withdrawal of participants. Potential Users WSI participants. Level of Effort With proper context analysis and existing work related to M&E tools and written agreements, the exit Strategy discussion might be included in these processes, lessening the burden.

3 WSI Phase 1: Incubation and Initial Analysis; 2: Formalization. Golden tips Keep your exit Participatory: Establish the Strategy jointly with WSI participants: it has to be owned by the local partners ( , government, community stakeholders, farmers) who will support the changes brought by the WSI. Flexible and iterative: Regard the WSI exit Strategy as a living document meant to evolve as the context and circumstances of the partners change. Not all eventualities can be anticipated; it is the spirit and general mechanisms that matter most. Agree on the profile of a facilitator if needed. Staggered: In the case of a handover of the WSI, a gradual exit will allow gauging stakeholders ability and commitment to meet their obligations and provide a chance to assess the success of the Strategy . Communication-wise: Foster frank and transparent communications. Ensure that achievements are recorded and celebrated, and that credit is given.

4 Agree on a Strategy to communicate about the exit ( , partner responsibility, targeted audience, content, channels, etc.). Consider substituting other terms for exit Strategy ( , transition, move on), as it can hold negative connotations. The circumstances leading to the termination of a WSI or the withdrawal of a partner may generate risks ( , reputational, financial) for participants and trigger tensions. The latter can be alleviated by previously negotiated procedures, drawing a clear path toward the resolution of critical issues. Exit strategies should also allow participants to effectively respond to severe challenges such as the misconduct of a participant, the unexpected withdrawal of a key funder, or the failure of activities. Jointly building an exit Strategy in the early phases allows participants to clearly outline what they want to have achieved at the end and to define or revisit their sustainability plan. Critically, the process will also highlight discrepancies in participants' levels of ambitions and expectations with regard to the sustainability of a WSI, providing a window of opportunity to foster shared understanding of constraints to longevity and to enhance the design of the program at the outset.

5 Because activities carried out as part of exit Strategy development ( , capacity building of local participants, post-project monitoring) require planning, budgeting, and sometimes the mobilization of extra funds, it makes sense to elaborate this Strategy once the broad objectives, structures, and processes of the WSI have been defined and before they have been implemented. Table 13 outlines some considerations when Developing an exit Strategy . Unforeseen exits The WSI may not fully achieve the expected outcome, but a situation may arise that prompts a participant to want to exit or the initiative to terminate prematurely. Typical reasons include: End of available funding Reduction in or withdrawal of resources at WSI level or at participant s level Initiative failure, , the WSI fails to meet non-negotiable expectations of some participants in terms of performance, accountability, values, etc. Participant failure, , non-performance, lack of compliance with agreed code of conduct Conflicts between participants Changing priorities of participant(s) Changing context, including environmental, political, or economic shifts or crises Guidance for implementation Table 12: Exit Strategy Scenarios for WSIs Driver Action by participants Key characteristics of the exit Strategy 1.

6 Reduction in or withdrawal of resources Redesign the program of the WSI, its structure and processes Greater self - reliance ( , through increased efficiency or new participants bringing different resources to the table) or handing over to existing local institutions. Abandon the WSI Participants leave the WSI or hand it over. 2. Completion of goals & objectives Conclude Publicize success, internalize and share lessons. Further collaboration possible on something new. 3. Continuation of projects beyond original timeframe Maintenance Continue and adjust ( , recruit new participants). Handover Hand over the WSI to a mainstream delivery system or institutions, or create a new mechanism (transition or transformation). Step 1: Identify Exit Criteria Utilize a brainstorming session to allow participants to identify possible reasons for moving on (individually or collectively). (Two fundamental situations should trigger an exit Strategy : achievement of the stated objectives or failure of the initiative.)

7 Draw up a list of exit criteria to spur reflections on how to address them, paving the way for the systematic design of plans incorporated into the exit Strategy . The plans will often rely on mechanisms ( , accountability mechanisms; procedures for conflict resolution, sanction, and termination) that are jointly agreed upon and formalized under the initiative's rules and agreements. Step 2: Design the Exit Strategy Utilize a facilitated discussion among participants to explore the WSI's overall outcomes and the outcomes for each workstream and activity. In doing so, participants share expectations, clarifying what they mean by success and how they would measure it, what the lifespan of the WSI should be, and how they expect their contribution to evolve. Utilize a proper M&E system to provide necessary clarity for such a discussion. Triggers that describe the benchmark to be achieved before moving on ( , percent of Water user associations reaching a given level of functionality) may be adjusted during the program cycle to reflect implementation constraints.

8 Choose metrics and define benchmarks for different groups to craft strategies that allow for the withdrawal of participants interested in leaving the WSI following the completion of their commitments. Ensure ongoing and timely monitoring of benchmarks and the conditions that might prompt premature termination of a WSI to ensure successful implementation of the exit Strategy . Can be integrated into overall M&E framework for the WSI to avoid duplication. Step 3: Moving On Exit critera are drivers that prompt participants to make critical decisions affecting the course of the WSI or the relationship with selected participants. Table 12 focuses on the collection dimension of the exit Strategy (how a WSI moves on). It presents common scenarios and key features of the exit strategies implemented as a result. 4. Failure of projects Leave or handover the successful part of the WSI WSI concluded participants move on by reverting to business as usual.

9 5. Perception of new initiative potential Begin a new project cycle Review the WSI; renegotiate program, participant, structure, and processes. 6. Change in participant priorities Some or all participants move on and away Participants separate; some may continue on with or without new participants, depending on progress to date and remaining work. 7. Shift in context Adjust or terminate partnership Review and readjust or terminate the WSI. Table 13: Considerations when Building the Exit Strategy Throughout the WSI Life Cycle Phase Key aspects to address Challenges Phase 2: Formalization Are further efforts needed to strengthen the foundation of participant relationships? Have participants explored the concept of the WSI as a transitory mechanism oriented toward achieving sustainable outcomes? Do they agree that WSIs move on at some stage with a range of options worth considering? Is this understanding shared by all participants, considering their various cultural contexts and perspectives?

10 Have exit criteria and drivers (individual and collective) been agreed upon? Have participants shared their expectations in terms of the lifespan and achievements of the WSI? Has the meaning of success been clarified, notably in terms of sustainability? Have programming implications been discussed? Do they agree on general principles guiding the exit of the WSI ( , phasing out, handover, transformation)? Have objectives, milestones, benchmarks, and triggers been clearly defined? Has this been done for a monitoring procedure (including regular WSI productivity checks) to assess progress toward the moving-on point? Do participants agree on the need to keep the exit Strategy flexible and to ensure that it can be implemented in a staggered way? Is the whole process participatory and transparent enough? Balancing firm commitments with flexibility. Allowing adequate time to develop capacity, while working within the program funding cycle.


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